AUSTIN ATLANTIC ASSET MANAGEMENT CO.
Adviser information for AUSTIN ATLANTIC ASSET MANAGEMENT CO. last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Pension consulting servicesSECURITIES AND LOAN FINANCING ADVISORY/CONSULTING |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Registered representative of a broker-dealerSECURITIES AND LOAN FINANCING ADVISORY/CONSULTING |
Identifiers
| SEC RIA File Number | 801-54963 |
|---|---|
| SEC ERA File Number | 801-54963 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110035 |
| Legal Entity Identifier | None |
Principal Office
1 ALHAMBRA PLAZASUITE 100
CORAL GABLES
FL
United States
Monday - Friday, 9:00A.M. TO 5:00P.M.
Tel: 800-327-6190, Fax: 305-507-1537
Websites
Chief Compliance Officer
KEVIN ROWE
CHIEF COMPLIANCE OFFICER
1 ALHAMBRA PLAZA
SUITE 100
CORAL GABLES
FL
United States
Tel:
305-507-1536
Fax:
305-507-1537
K****@*****************M
(Full email address available in API data)
Regulatory Contact
RODGER SHAY
PRESIDENT
1 ALHAMBRA PLAZA
SUITE 100
CORAL GABLES
FL
United States
Tel:
3055071535
R****@*****************M
(Full email address available in API data)
Industry Affiliates
| AUSTIN ATLANTIC CAPITAL INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AUSTIN ATLANTIC INC. | Domestic Entity | – | SHAREHOLDER | 08/1990 | > 75% |
| SHAY JR, RODGER, DAVID | Individual | AUSTIN ATLANTIC INC. | SHAREHOLDER | 09/1990 | 25-50% |
| SHAY JR, RODGER, DAVID | Individual | – | CHAIRMAN & PRESIDENT | 11/2014 | < 5% |
| RODRIGUEZ, AARON, NETZAHUALCOYOTL | Individual | – | CHIEF FINANCIAL OFFICER | 10/2012 | < 5% |
| ROWE, KEVIN, ANTHONY | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2014 | < 5% |